Providing some basic information about electronic records management in a Federal Government context

1. Ken Matthews ERM Program Manager, USAID 1 Managing Electronic Records within a Federal Government

2. What are the problems 2 Massive Volume of e-Records Increases by 30% per annum Volume of unnecessary e-Records 30-60% of all stored documents are copies The problem of authenticity and integrity The problem of migration The problem of searchability, findability, and retrievability

3. 3 Topics To Be Considered How to find eRecords in your organization. Essential factors necessary to correctly manage eRecords. Functional requirements needed to implement of a feasible eRecords solution. The benefits and consequences of applying eRecords management. How to achieve eRecords management that will have sustainable results. Information and tools that can be applied immediately.

4. Defining Some Terms We Will Be Using 4 What are Records? What are E Records? What is Records Management? What is ESI? What are Information Systems?

5. What is a Record? 5 Record.A record consists of information, regardless of medium, detailing the transaction of business. Records include all books, papers, maps, photographs, machine-readable materials, and other documentary materials, regardless of physical form or characteristics, made or received by an Agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that Agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the value of data in the record. (44 U.S.C. 3301)

6. What are Records? 6 A record is “information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business.” ISO 15489 – The International Records Management Standards Data or information that has been fixed on some medium; that has content, context, and structure; and that is used as an extension of human memory or to demonstrate accountability. A Glossary of Archival and Records Terminology, Society of American Archivists.

7. What are Electronic Records, cont… 7 Electronic Records are those materials that meet the definition of a record and are produced or created electronically. In addition: Electronic Records are created by a computer and read by a computer Electronic Records are produced on many different types of media Our hand held devices are producing Electronic Records

8. HOW TO IDENTIFY RECORDS 8 If you answer “yes” to any question below, you may have a record: • Was it created in the course of business? (i.e., correspondence, agreements, studies) • Was it received for action? (i.e., FOIA requests, controlled correspondence) • Does it document activities and actions? (i.e., calendars, meeting minutes, project reports) • Is it mandated by statute or regulation? (i.e., administrative records, dockets) • Does it support financial obligations or legal claims? (i.e., grants, contracts, litigation case files • Does it communicate requirements? (i.e., guidance documents, policies, Procedures)

9. HOW TO IDENTIFY RECORDS, cont… 9 If you answer “yes” to any of these questions, you may have a non-record: • Is it reference material? (i.e., vendor catalogs, phone books, technical journals) • Is it a convenience copy? (i.e., duplicate copies of correspondence or directives) • Is it a stock copy? (i.e., USAID publications or forms) • Is it a draft or working paper? (i.e., draft with no substantive comments, rough notes, calculations) Note: Some drafts are needed to support the decision trail or are required by a records schedule. If you answer “yes” to this question, you may have a personal paper: • Is it only related to your own affairs? (i.e., soccer schedule, PTA roster) Note: Personal planners and calendars may actually be records if they document activities.

10. What is Records Management? 10 Records Management (RM) is the intentional management of all records, regardless of whether they are paper or electronic, created in the course of business activities as an institutional asset for legal, fiscal, administrative or historical purposes through the records' entire life cycle. Electronic Records Management (ERM) applies the same principles in an electronic environment. A successful RM program must now address both paper and electronic records.

11. What is Electronic Records Management 11 ISO standard 15489: 2001 defines Records Management (RM) as the field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. AIIM expands this definition to include records of all types including those maintained in electronic format.

12. Many Electronic Records are stored in the Information Systems we work with daily. This Information, which may include Records is referred to as ESI or Electronically Stored Information. Information systems generate and store different types of decisions at different levels of the organizational hierarchy. 12

13. What are Information Systems? 13 There are many types of Information Systems in use in the average work environment, but what are Information Systems? The term Information Systems (IS) refers to the interaction between processes and technology. This interaction can occur within or across organizational boundaries. An information system is not only the technology an organization uses, but also the way in which the organizations interact with the technology and the way in which the technology works with the organization’s business processes.

14. According to Wikipedia… 14 “The Information System consists of four parts which include: procedures, software, hardware, and information or data, which are essentially the same. There are various types of information systems, for example: transaction processing systems, office systems, decision support systems, knowledge management systems, database management systems, and office information systems. Critical to most information systems are information technologies, which are typically designed to enable humans to perform tasks for which the human brain may find very challenging, such as: handling large amounts of information, performing complex calculations, and controlling many simultaneous processes.

15. E Records May Be Found on Any Device That Can Store ESI 15 ESI is Electronically Stored Information, and some of this information may well be eRecords or Electronic Records According to the Federal Rules of Civil Procedures ESI is explicitly defined as a category of information. The rule (Rule 26a) explicitly defines ESI as a specific category of information to be disclosed. There is no longer any ambiguity about whether digital data constitutes a “document”.

16. Where are the eRecords in your organization? 16 I am preparing this presentation on a day when our city is experiencing a major snow storm. Imagine having to go out and look through all that snow for a very costly gold ring that you dropped out there in the snow about four hours ago when the snow was about 10 inches. The snow has reached 20 inches and you plowed a driveway about 30 feet in length, cleaned two cars, and plowed snow around the perimeter of the house as well. Where do you begin? What are some things to consider as one plows through all the information housed in their organization?

17. We need to consider the fact that Electronic Records are house on various type of media 17

18. What are the various types of media which store Electronic Records 18 E mails Information Systems Databases Back up Tapes Films and Photos Hard drives Disk Micro-fiche Word, Excel, Power Points, etc Web Sites, Web 2.0 Apps Cell Phones Voice Mails Text Messages

19. Where are the Electronic Records 19 Work stations Data Centers Back up tape storage facilities File cabinet Offsite storage facilities Media centers Portable & mobile devices, laptops, PDA’s, Smart phones Secure office vaults

20. What do we need to consider if we are going effectively manage Electronic Records 20 Value of a record is determined by content, not format! If we do not manage our Electronic Records they could very well spiral out of control We must make the management of electronic records a part of our normal daily work flow

21. Records Lifecycle 21 Permanent Permanent: To Archives (1 – 3%) to Archives Creation/ Maintenance Creation/ Maintenance Disposition Disposition Receipt and Use Receipt and Use Temporary: Destroyed

22. Records Management and Electronic Discovery (E-Discovery) 22 The process in brief: E-Discovery is a legal process and it involves: Discovery - party seeks information from other parties to "discover" facts related to claims or defenses. Scope of Discovery - all relevant information, not just records. Preservation – disposition suspended when litigation, reasonably anticipated litigation, court ordered preservation, or other investigative processes.

23. Electronic Discovery Reference Model 23

24. Functional requirements needed to implement a feasible eRecords solution 24 Functional Requirements RMA: (1) Create records (2) Store records (3)Manage paper records (4)View records (5) Manipulate records (6) Link metadata (7) Link related record peripheral devices (8)Electronic signature administrator functions (9) Manage & categorize file plans (10) Apply disposition schedules (11) Perform auditing, backup & Recovery Functions

25. The Benefits Of Implementing An Electronic Records Application 25 Efficiency Compliancy Reliability Authenticity E-Discovery Scalability Flexibility Cost benefits Space benefits Technological enhancements

26. The Consequences of Implementing An Electronic Records Application 26 The challenge of usability and or adaptability The potential of little or no cost saving over time The possibility that the system may not meet the organizations requirements The potential for system malfunction The failure of vendor to measure up to expectations

27. Challenges in the Preservation of Electronic Records 27 Digital preservation: Digital information posses a whole new set of dynamics vastly different than encountered with paper preservation The technical problems associated with the preservation of digital information are in some ways more complex But also it must be noted that we have managerial problems “... the planning, resource allocation, and application of preservation methods and technologies to ensure that digital information of continuing value remains accessible and usable” - Margaret Hedstrom (1998) The challenge of managing electronic records globally The challenge of managing electronic records in an environment of constant change

28. What are the challenges associated with the Management of Electronic Records 28 Management of Classified information Solutions for handling large volumes of email Long-term storage formats for electronic records and transfer to offline storage facilities Records management of Web sites Archiving of collaboration events, web 2.0 Effectiveness of auto-categorization tools Integration with Secure Channel Integration of structured data systems

29. How To Achieve Electronic Records Management That Will Have Sustainable Results 29 Implement an effective project plan Know your intellectual assets and be sure they are all addressed in your ERM solution Select a solution that best meets the requirements of your organization Select the most user friendly system possible Test, assess, and evaluate your ERM regularly Train, Train, and Train

30. 30 What About the National Archives and Records Administration (NARA)?

31. NARA’s Vision 31 1. We will be a leader in innovation in electronic records archiving. 2. In coordination with our Federal partners we will develop policy and technical guidance to enable responsible electronic records creation and management. 3. With help from our research partners, we will develop and maintain the technical capability to capture, preserve, describe, access and appropriately dispose of any government electronic record. 4. We will manage a coherent, nationwide, and sustainable system for permanent electronic records of the Federal Government.

32. NARA’s Strategic Goals 32 To be sure essential evidence will be created, identified, appropriately scheduled, and managed for as long as needed. 2. To be certain essential evidence will be easy to access regardless of where it is or where users are for as long as needed. 3. To be sure all records will be preserved in an appropriate environment for use as long as needed. 4. NARA's is committed to incorporating capabilities for making changes necessary to realize their vision will continuously expanded.

33. NARA’s Commitment to their Customer’s 33 Store electronic records for producers and provide access and other services they require for specified periods of time Bring electronic records into the National Archives and the Presidential Libraries, preserve them and provide access, respecting legal restrictions, forever Help customers discover and access holdings Provide authentic copies of electronic records which will support exercise of property and other rights and hold up in court, if needed. Guide and assist federal agencies in lifecycle management of their records Support the transition to e-government

34. NARA’s Electronic Records Challenge 34 Diversity Complexity Open-ended Growth Obsolescence Continuing change Durability

35. NARA’s Solution 35 To the challenges of Electronic Records: ERA = Electronic Records Archives

36. The Wave of the Future 36

37. In Summary 37 Use the recordkeeping system consistently and in the normal course of business, Develop and follow written policies and procedures, Provide training and support, Develop an adequate system of controls, Develop and implement system audit trails, Conduct routine tests of system performance, Test and document the reliability of hardware and software, Provide adequate security, Establish controls for accuracy and timeliness of input and output, and Create, maintain, and retain comprehensive system documentation. Many of the measures recommended for good systems design, system maintenance, and electronic recordkeeping also enhance the quality of electronic records as legal evidence.

38. Q & Q U E S T I O N S A N S W E R S A 38

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40. Thank You 40 Presenter: Ken Matthews, ERM Program Manager Organization: USAID Contact Information: chapkenmat@gmail.com Twitter: chapkenmat Blog: http://concerningelectronicrecordmanagement.blogspot.com